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SEC Risk Alert Spotlights Deficiencies, Good Practices ID’d in RIC Exams

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November 12, 2021

Keywords: Investment Company Act, Mutual Funds, Risk Alert, SEC Examinations

Categories & Topics: Business Ops/HR, Compliance, Examinations, Registered Funds

BDC Adviser Fined Over $800,000 for Accepting Fees Without Board Knowledge or Approval

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June 15, 2021

Keywords: Conflicts of Interest, Enforcement, Fees and Expenses, Fiduciary, Investment Company Act

Categories & Topics: Compliance, Conflicts, Enforcement

SEC Investment Management Seeks Input on Cross Trading Rule Amendments

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March 24, 2021

Keywords: Elad Roisman, Fair Value, Investment Company Act, Valuation

Categories & Topics: Compliance, Valuation

SEC No-Action Letter Allows Funds to Custody Loan Interests

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January 25, 2021

Keywords: Custody, Investment Company Act, Mutual Funds, SEC Investment Management

Categories & Topics: Business Ops/HR, Compliance, Custody, Registered Funds

SEC Adopts Fund of Funds Rule – Without Redemption Limit Opposed by the IAA

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October 08, 2020

Keywords: Fund of Funds, Gail Bernstein, Investment Company, Investment Company Act

Categories & Topics: Business Ops/HR, Registered Funds

SEC to Provide Exemption for Approval of Sub-Advisory Agreements from In-Person Board Meeting Requirements Under the Investment Company Act

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February 07, 2020

Keywords: Investment Company Act, Mutual Funds

Categories & Topics: Account Operations, Advisory Contracts

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